-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FVXGoQK6ZKf5N6P99dlYKfO9a9fxpLbVctzramt+Wzw7obIlza0RLz2qCTS07Ttz q1ypG9q5TJ9019j5pMhWEA== 0000906305-04-000005.txt : 20040513 0000906305-04-000005.hdr.sgml : 20040513 20040513120017 ACCESSION NUMBER: 0000906305-04-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040331 FILED AS OF DATE: 20040513 EFFECTIVENESS DATE: 20040513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DAWSON HERMAN CAPITAL MANAGEMENT INC /CT CENTRAL INDEX KEY: 0000906305 IRS NUMBER: 061033494 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03914 FILM NUMBER: 04801689 BUSINESS ADDRESS: STREET 1: 354 PEQUOT AVE CITY: SOUTHPORT STATE: CT ZIP: 06890 BUSINESS PHONE: 2032540091 MAIL ADDRESS: STREET 1: 354 PEQUOT AVE CITY: SOUTHPORT STATE: CT ZIP: 06490 FORMER COMPANY: FORMER CONFORMED NAME: DAWSON GIAMMALVA CAPITAL MANAGEMENT INC /CT DATE OF NAME CHANGE: 20010214 FORMER COMPANY: FORMER CONFORMED NAME: DAWSON SAMBERG CAPITAL MANAGEMENT INC /CT DATE OF NAME CHANGE: 19960924 13F-HR 1 m3310413f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2004 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Dawson-Herman Capital Management Inc. Address: 354 Pequot Avenue Southport, CT 06890 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Thomas S. Galvin Title: CFO Phone: (203) 254-0091 Signature, Place, and Date of Signing: Thomas S. Galvin Southport, CT May 13, 2004 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 312 Form 13F Information Table Value Total: 1,295,313,692 List of Other Included Managers: FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- ------- 99 CENTS ONLY STORES CS 65440K106 3795 155400 SH SOLE 155400 ABERCROMBIE & FITCH CS 002896207 14920 440900 SH SOLE 440900 ACE CASH EXPRESS INC CS 004403101 3270 108500 SH SOLE 108500 ACTIVE POWER CS 00504W100 3874 1203000 SH DEFINED 1203000 ACTIVE POWER CS 00504W100 3267 1014600 SH SOLE 1014600 ACUSPHERE INC CS 00511R870 1103 132100 SH SOLE 132100 ADAPTEC INC COM CS 00651F108 303 34600 SH SOLE 34600 ADVANCE AUTO PARTS INC. CS 00751Y106 2090 51400 SH SOLE 51400 ADVENT SOFTWARE CS 007974108 6334 339100 SH SOLE 339100 AGERE SYSTEMS INC CLASS B CS 00845V209 49 15608 SH SOLE 15608 AIRSPAN NETWORKS CS 00950H102 315 54000 SH SOLE 54000 ALEXION PHARMACEUTICALS INC CS 015351109 3694 155400 SH SOLE 155400 ALUMINUM CORP OF CHINA LTD CS 022276109 2952 35800 SH SOLE 35800 AMERADA HESS CORP CS 023551104 8930 136800 SH DEFINED 136800 AMERICAN BARRICK RESOURCES COR CS 02451E109 1836 77200 SH SOLE 77200 AMERICAN EXPRESS COMPANY CS 025816109 314 6054 SH SOLE 6054 AMERICAN TOWER CORP CS 029912201 3506 308900 SH SOLE 308900 AMERITRADE HOLDING CORP CS 03072H109 2843 184600 SH SOLE 184600 ANADARKO PETE CORP COM CS 032511107 2453 47300 SH DEFINED 47300 ANHEUSER BUSCH COS INC COM CS 035229103 204 4000 SH SOLE 4000 APPLE COMPUTER INC COM CS 037833100 1222 45200 SH SOLE 45200 APPLEBEES INTER INC CS 037899101 3847 93200 SH SOLE 93200 APPLERA CORP COM CS 038020103 4338 219300 SH SOLE 219300 ARCHER DANIELS MIDLAND CO COM CS 039483102 7845 465000 SH SOLE 465000 ARRAY BIOPHARMA INC CS 04269X105 201 22300 SH SOLE 22300 ARRIS GROUP INC CS 04269Q100 4822 527600 SH SOLE 527600 ASCENTIAL SOFTWARE CORP CS 04362P108 644 29500 SH SOLE 29500 AVANEX CORP CS 05348W109 330 76300 SH DEFINED 76300 AVANEX CORP CS 05348W109 1467 339600 SH SOLE 339600 AVITAR INC CS 053801106 318 1591300 SH SOLE 1591300 BAKER HUGHES INC COM CS 057224107 3455 94700 SH DEFINED 94700 BALL CORP CS 058498106 5734 84600 SH SOLE 84600 BANK AMERICA CORP CS 060505104 5669 70000 SH SOLE 70000 BED BATH AND BEYOND COM CS 075896100 1798 42900 SH SOLE 42900 BERKSHIRE HATHAWAY INC CS 084670207 4405 1416 SH SOLE 1416 BJ SERVICE CO COM CS 055482103 8425 194700 SH DEFINED 194700 BJ SERVICE CO COM CS 055482103 20189 466600 SH SOLE 466600 BJS WHOLESALE CLUB CS 05548J106 4782 187900 SH SOLE 187900 BOOKHAM TECHNOLOGY PLC-ADR CS 09856Q108 415 190200 SH SOLE 190200 BOOKHAM TECHNOLOGY PLC-ADR CS 09856Q108 1758 806800 SH SOLE 806800 BRIGGS AND STRATTON CORP CS 109043109 2665 39500 SH SOLE 39500 BRISTOL MYERS SQUIBB CO USD.10 CS 110122108 10055 415000 SH SOLE 415000 BROOKLYN ENERGY CS 114034101 727 443500 SH DEFINED 443500 BROOKSTONE INC CS 114537103 7778 285000 SH SOLE 285000 CABOT CORP CS 127055101 7216 220000 SH SOLE 220000 CAESARS ENTERTAINMENT INC CS 127687101 7053 540900 SH SOLE 540900 CAL MAINE FOODS INC CS 128030202 6849 192400 SH SOLE 192400 CALL ANF APR 35 OC 0028960DG 130 200000 SH SOLE 200000 CALL ANF MAY 35 OC 002896SEG 150 100000 SH SOLE 100000 CALL CAM APR 45 OC 2166401DI 225 300000 SH DEFINED 300000 CALL OI MAY 15 OC 6907680EC 113 250000 SH SOLE 250000 CALL RDC APR 25 OC 7793820DE 9 175000 SH DEFINED 175000 CALL XLB SEP 26 OC 81369Y2IZ 285 200000 SH DEFINED 200000 CALL XLE SEP 28 OC 81369YRIB 1345 625400 SH DEFINED 625400 CALL XLE SEP 29 OC 81369YRIC 78 50000 SH DEFINED 50000 CANADIAN NATURAL RESOURCES LTD CS 136385101 250 4500 SH DEFINED 4500 CAREMARK RX INC CS 141705103 11132 334800 SH SOLE 334800 CASH AMERICA INTERNATIONAL INC CS 14754D100 235 10200 SH SOLE 10200 CAVALIER HOMES INC CS 149507105 245 46700 SH SOLE 46700 CELADON GROUP INC CS 150838100 176 10700 SH SOLE 10700 CENDANT CORP CS 151313103 8763 359300 SH SOLE 359300 CENTRAL EUROPEAN MEDIA CS G20045103 2903 155500 SH SOLE 155500 CENTURY CASINOS INC CS 156492100 323 98300 SH SOLE 98300 CERNER CORP COM CS 156782104 699 15500 SH SOLE 15500 CHAMPION ENTERPRISES INC CS 158496109 4456 420400 SH SOLE 420400 CHESAPEAKE ENERGY CO CS 165167107 1136 84800 SH DEFINED 84800 CHICAGO BRIDGE & IRON COMPANY CS 167250109 9393 337500 SH SOLE 337500 CHIRON CORP COM CS 170040109 1356 30800 SH SOLE 30800 CIGNA CORP COM CS 125509109 3016 51100 SH SOLE 51100 COCA COLA CO. CS 191216100 31870 633600 SH SOLE 633600 COMPAGNIE DE SAINT-GOBAIN CS 990002BJ5 3838 75900 SH SOLE 75900 COMPANHIA VALE DO RIO DOCE CS 204412209 4419 80500 SH SOLE 80500 CONEXANT SYSTEMS INC CS 207142100 4102 669100 SH SOLE 669100 CONOCO-PHILLIPS CS 20825C104 4300 61600 SH DEFINED 61600 CONOCO-PHILLIPS CS 20825C104 15589 223300 SH SOLE 223300 COOPER CAMERON CORP. CS 216640102 2758 62600 SH SOLE 62600 CORVIS CORP CS 221009103 2342 1219700 SH SOLE 1219700 COUNTRYWIDE FINANCIAL CORP CS 222372104 969 10100 SH SOLE 10100 CRESCENT REAL ESTATE EQUITY'S CS 225756105 7109 395600 SH SOLE 395600 CROWN CASTLE INTERNATIONAL COR CS 228227104 8044 636900 SH SOLE 636900 D AND K HEALTHCARE RESOURCES I CS 232861104 308 30000 SH SOLE 30000 DEERE & CO COM CS 244199105 1317 19000 SH SOLE 19000 DELL INC CS 24702R101 15512 461400 SH SOLE 461400 DEVON ENERGY CORP NEW CS 25179M103 9217 158500 SH DEFINED 158500 DEVON ENERGY CORP NEW CS 25179M103 1648 28348 SH SOLE 28348 DOW CHEMICAL CS 260543103 5899 146450 SH SOLE 146450 DUPONT EI DENEMOURS CS 263534109 8338 197500 SH SOLE 197500 E M C CORP MASS COM CS 268648102 2864 210400 SH SOLE 210400 ENCYSIVE PHARMACEUTICALS INC CS 29256X107 4025 391500 SH SOLE 391500 ENDOLOGIX INC CS 29266S106 4172 751800 SH SOLE 751800 ENERGY PARTNERS LTD CS 29270U105 668 50000 SH DEFINED 50000 ENSCO INTERNATIONAL INC CS 26874Q100 6338 225000 SH DEFINED 225000 ENSCO INTERNATIONAL INC CS 26874Q100 9109 323333 SH SOLE 323333 EOG RESOURCES INC CS 26875P101 2919 63600 SH SOLE 63600 EPOCH BIOSCIENCES INC CS 294273107 1067 520400 SH SOLE 520400 EPOCH BIOSCIENCES RESTRICTED S CS 9K999R431 875 350000 SH SOLE 350000 EPOCH BIOSCIENCES WARRANTS WT 9W999K315 0 105000 SH SOLE 105000 EVEREST RE GROUP LTD CS G3223R108 14687 171900 SH SOLE 171900 EXCEL TECHNOLOGY CS 30067T103 233 7400 SH SOLE 7400 EXXON MOBIL CORPORATION CS 30231G102 3947 94900 SH DEFINED 94900 EXXON MOBIL CORPORATION CS 30231G102 62 1500 SH SOLE 1500 FINISAR CS 31787A101 307 142000 SH DEFINED 142000 FINISH LINE INC CS 317923100 13572 368600 SH SOLE 368600 FISHER SCIENTIFIC INTL INC USD CS 338032105 32342 587600 SH SOLE 587600 FLEETWOOD ENTERPRISES INC CS 339099103 4014 326900 SH SOLE 326900 FMC TECH CS 30249U101 641 23700 SH DEFINED 23700 FOSSIL INC CS 349882100 416 12500 SH SOLE 12500 FOUR SEASONS HOTELS CS 35100E104 14953 281600 SH SOLE 281600 FREESTAR TECHNOLOGY CORP CS 35687X103 143 750000 SH SOLE 750000 FRESH CHOICE INC COM CS 358032100 20 11700 SH SOLE 11700 FUGRO NV CS 9900038C2 5389 89200 SH DEFINED 89200 G III APPAREL GROUP CS 36237H101 114 14700 SH SOLE 14700 GENAISSANCE PHARMACUETICALS IN CS 36867W105 3903 1118400 SH SOLE 1118400 GILEAD SCIENCES INC COM CS 375558103 887 16000 SH SOLE 16000 GLOBAL SANTAFE CORP CS G3930E101 4649 167437 SH DEFINED 167437 GLOBAL SANTAFE CORP CS G3930E101 136 4887 SH SOLE 4887 GRANT PRIDECO INC CS 38821G101 5413 349200 SH DEFINED 349200 GRANT PRIDECO INC CS 38821G101 1677 108200 SH SOLE 108200 GROUPE BOURBON CS 99000GD52 387 3200 SH DEFINED 3200 HALLIBURTON CO CS 406216101 8530 280700 SH DEFINED 280700 HANOVER COMPRESSOR CO CS 410768105 2290 189400 SH DEFINED 189400 HARMONIC LIGHTWAVES CS 413160102 194 20000 SH SOLE 20000 HARVEST NATURAL RESOURCES CS 41754V103 855 58500 SH DEFINED 58500 HCA INC CS 404120107 10638 261900 SH SOLE 261900 HEALTH CARE SERVICE GROUP CS 421906108 6795 413050 SH SOLE 413050 HEALTH MGMT ASSOC INC CL A CS 421933102 594 25600 SH SOLE 25600 HEARST ARGYLE TELEVISION INC CS 422317107 20060 746000 SH SOLE 746000 HEARTLAND EXPRESS INC CS 422347104 2641 115900 SH SOLE 115900 HEARUSA INC CS 422360305 1459 772200 SH SOLE 772200 HEWLETT PACKARD CO CS 428236103 2029 88822 SH SOLE 88822 HI/FN INC CS 428358105 415 36000 SH SOLE 36000 HILTON HOTELS CORPORATION CS 432848109 2108 129700 SH SOLE 129700 HJ HEINZ CO USD.25 COM CS 423074103 22150 594000 SH SOLE 594000 HONEYWELL INC. CS 438506107 5239 154758 SH SOLE 154758 HORMEL FOODS CS 440452100 4857 165600 SH SOLE 165600 HUNT J B TRANS SVCS INC COM CS 445658107 7536 267600 SH SOLE 267600 INCO LTD CAD COM NPV CS 453258402 2244 64800 SH SOLE 64800 INCYTE PHARM INC CS 45337C102 2879 346400 SH SOLE 346400 INFOSPACE.COM INC CS 45678T102 3354 86300 SH SOLE 86300 INGERSOLL RAND CO CS G4776G101 5588 82600 SH SOLE 82600 INTEL CORP COM CS 458140100 7475 274800 SH SOLE 274800 INTERNATIONAL STEEL GROUP INC CS 460377104 2036 52600 SH SOLE 52600 INTEROIL CORPORATION CS 460951106 2145 79200 SH DEFINED 79200 INVERESK RESEARCH GROUP INC CS 461238107 11098 390500 SH SOLE 390500 IVILLAGE INC CS 46588H105 3391 495700 SH SOLE 495700 J.P. MORGAN CS 616880100 5621 134000 SH SOLE 134000 JDS UNIPHASE CS 46612J101 465 114200 SH DEFINED 114200 JONES APPAREL GROUP CS 480074103 5365 148400 SH SOLE 148400 JONES SODA CO CS 48023P106 427 154200 SH SOLE 154200 JSC MMC NORILSK INC CS 46626D108 3542 46000 SH SOLE 46000 K2 INDUSTRIES INC CS 482732104 319 19900 SH SOLE 19900 KENNETH COLE PRODUCTIONS CS 193294105 4249 124600 SH SOLE 124600 KERYX BIOPHARMACEUTICALS INC CS 492515101 9076 594000 SH SOLE 594000 KFX INC. COM. CS 48245L107 2787 268200 SH DEFINED 268200 LAM RESH CORP COM CS 512807108 580 23100 SH SOLE 23100 LEVEL 3 COMM INC. CS 52729N100 228 57100 SH DEFINED 57100 LEVEL 3 COMM INC. CS 52729N100 230 57400 SH SOLE 57400 LIBERTY MEDIA CORP CS 530718105 18565 1695396 SH SOLE 1695396 LIGAND PHARMACEUTICALS INC CS 53220K207 653 32500 SH DEFINED 32500 LIONORE MINING INTERNATIONAL C CS 535913107 1848 388300 SH SOLE 388300 LIONS GATE ENTERTAINMENT CORP CS 535919203 12679 2028700 SH SOLE 2028700 LSI LOGIC CORP COM CS 502161102 219 23400 SH SOLE 23400 LUCENT TECHNOLOGIES CS 549463107 242 59000 SH SOLE 59000 LUMINEX CORP CS 55027E102 894 98800 SH SOLE 98800 MACROMEDIA CS 556100105 15629 778700 SH SOLE 778700 MAGELLAN HEALTH SERVICES INC CS 559079207 7980 284000 SH SOLE 284000 MANDALAY RESORT GROUP CS 562567107 6110 106700 SH SOLE 106700 MASONITE INTERNATIONAL CORP CS 575384102 1792 64000 SH SOLE 64000 MATTEL INC COM CS 577081102 335 18192 SH SOLE 18192 MATTHEWS INTERNATIONAL CORP CL CS 577128101 342 10300 SH SOLE 10300 MAVERICK TUBE CORP CS 577914104 1999 84900 SH DEFINED 84900 MCDONALDS CORP COM NPV CS 580135101 5891 206200 SH SOLE 206200 MDU COMMUNICATIONS INTERNATION CS 582828109 308 102800 SH SOLE 102800 MEDAREX INC CS 583916101 2253 251200 SH SOLE 251200 MEDICAL CARE AMERICA INC USD. CS 58450C106 10484 262100 SH SOLE 262100 MEREDITH CORP CS 589433101 19481 385300 SH SOLE 385300 METALS USA INC CS 591324207 251 19400 SH SOLE 19400 MGIC INVESTMENT CORP. CS 552848103 3237 50400 SH SOLE 50400 MICROMUSE INC. CS 595094103 636 81600 SH SOLE 81600 MICROSOFT CORP COM CS 594918104 9139 366600 SH SOLE 366600 MILLENNIUM CHEMICALS INC CS 599903101 424 28400 SH DEFINED 28400 MONACO COACH CORP CS 60886R103 2680 100000 SH SOLE 100000 MONRO MUFFLER BRAKE INC CS 610236101 1115 44623 SH SOLE 44623 MOTIENT CORP CS 619908304 960 150000 SH SOLE 150000 MPOWER HOLDING CORP CS 62473L309 292 203000 SH SOLE 203000 MPS GROUP INC CS 553409103 3135 281900 SH SOLE 281900 MRV COMMUNICATIONS CS 553477100 506 152100 SH DEFINED 152100 MYRIAD GENETICS CS 62855J104 4785 295900 SH SOLE 295900 NABORS INDUSTRIES LTD CS G6359F103 9534 208400 SH DEFINED 208400 NABORS INDUSTRIES LTD CS G6359F103 8908 194700 SH SOLE 194700 NATIONAL OILWELL INC CS 637071101 1391 49193 SH DEFINED 49193 NATIONAL OILWELL INC CS 637071101 190 6700 SH SOLE 6700 NAUTILUS GROUP INC CS 63910B102 195 12400 SH SOLE 12400 NAVIGANT CONSULTING INC CS 63935N107 4074 201400 SH SOLE 201400 NAVISTAR INTERNATION CS 63934E108 3443 75100 SH SOLE 75100 NETSMART TECHNOLOGIES INC CS 64114W306 5587 412300 SH SOLE 412300 NIKE INC CL B CS 654106103 17404 223500 SH SOLE 223500 NORFOLK SOUTHERN CORP CS 655844108 4418 200000 SH SOLE 200000 NORTEL NETWORKS CORP CS 656568102 9558 1609100 SH SOLE 1609100 NOVELL INC COM CS 670006105 13795 1212200 SH SOLE 1212200 NS GROUP INC CS 628916108 553 42500 SH DEFINED 42500 O CHARLEYS CS 670823103 2612 143100 SH SOLE 143100 OAKLEY CS 673662102 3511 236600 SH SOLE 236600 OIL SERVICES HOLDERS TRUST CS 678002106 4867 69300 SH DEFINED 69300 OIL SERVICES HOLDERS TRUST CS 678002106 5969 85000 SH SOLE 85000 OMNICARE INC COM CS 681904108 27307 616000 SH SOLE 616000 ORACLE SYS CORP COM CS 68389X105 1148 95700 SH SOLE 95700 ORBIMAGE INC CS 68555Y101 190 10000 SH SOLE 10000 ORCHID BIOSCIENCES INC CS 68571P100 4931 493120 SH SOLE 493120 ORTHOFIX INTERTATIONAL NV CS N6748L102 4361 88100 SH SOLE 88100 OSCIENT PHARMACEUTICALS CORPOR CS 68812R105 6883 1224700 SH SOLE 1224700 OUTBACK STEAKHOUSE INC CS 689899102 8104 166400 SH SOLE 166400 OWENS ILLINOIS INC CS 690768403 5389 384400 SH SOLE 384400 OXFORD INDUSTRIES INC CS 691497309 2194 47500 SH SOLE 47500 PACKAGING CORPORATION OF AMERI CS 695156109 2006 88900 SH SOLE 88900 PARTNER-RE LIMITED BERMUDA CS G6852T105 4917 87100 SH SOLE 87100 PATTERSON-UTI ENERGY INC CS 703481101 2914 82300 SH DEFINED 82300 PATTERSON-UTI ENERGY INC CS 703481101 2907 82100 SH SOLE 82100 PINNACLE ENTERTAINMENT INC CS 723456109 7349 532500 SH SOLE 532500 PIONEER NATURAL RESOURCES CO. 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